Cybersecurity was front and center this week, with SEC Chairman Jay Clayton being grilled by a Senate Committee about the breach at the agency. The Chairman testified that the breach occurred last year and that investigations are underway. Mr. Clayton …
This Week In Securities Litigation (Week ending September 29, 2017) Read More »
Undisclosed conflicts of interest have been a key focus of OCIE exams of investment advisers. Those undisclosed conflicts have resulted in a series of enforcement actions against advisers. The Commission’s most recent case involving an adviser who failed to disclose …
Legal Advice Not Enough for Adviser to Avoid SEC Sanctions Read More »